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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-12
NC RA APPROVED 2021-02-11
  • TX RA
    APPROVED
    Since 2021-02-12
  • NC RA
    APPROVED
    Since 2021-02-11

Branch Locations

1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367 • United States

Wilmington, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Wilmington NC 05/2020 Present
Fairview Investment Services Raleigh NC 11/2011 04/2020
  • 05/2020 → Present
    Wilmington, NC
  • 11/2011 → 04/2020
    Fairview Investment Services
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-30
S65 Uniform Investment Adviser Law Examination 2007-02-22
  • S66 Uniform Combined State Law Examination
    2020-10-30
  • S65 Uniform Investment Adviser Law Examination
    2007-02-22
Designations

View on SEC IAPD

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